Former National Securities Corporation Broker Rodrigue Lors Investment Loss Options
Posted on Tuesday, January 26th, 2021 at 7:22 pm
Were you the victim of former National Securities Corporation broker Rodrigue Lors (CRD# 4379214)? Lors has been registered with Wilmington Capital Securities, LLC in Westbury, New York since 2017. Previously, Lors was registered with National Securities Corporation in Westbury, New York from 2007 to 2017.
Lors has been the subject of five customer complaints between 2016 and 2020, two of which were denied and one was closed without action, according to his CRD report:
November 2020. “Suitability.” The case is currently pending. The complaint took place while Lors was registered with National Securities Corp. and was regarding common and preferred stocks and private placements.
July 2020. “Suitability.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint took place while Lors was registered with National Securities Corp. and was regarding private placements.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, National Securities Corporation may be liable for investment or other losses suffered by Lors’ customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.